Tag: Regulations

Part 2

Crowdfunding Requirements for Intermediaries

The following requirements apply to both broker-dealers and funding portals acting as an intermediary in a transaction involving the sales of securities pursuant to Regulation Crowdfunding (“Regulation CF”):

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Register with the SEC as a broker or as a funding portal.

Register with a self-regulatory organization (“SRO”); the only eligible SRO at present being FINRA.

In addition, intermediaries must also take reasonable steps to prevent fraud and ensure that issuers and investors comply with Regulation CF. Intermediaries may rely on representations from issuers and investors, but at a minimum, intermediaries are required to conduct background checks and securities enforcement regulatory history checks on each officer, director, and 20% owner Read More…

Annual broker-dealer training should be derived from relevant regulatory and/or industry focus areas. It is important to consider the current “hot topics” and implement appropriate training regarding the areas that would best mitigate risk when performing needs analysis and developing an annual training plan.

We have utilized appropriate industry publications and summarized the applicable topics that were addressed. You can click the links below for more information on the referenced subject matter. Firms are reminded that they should not rely solely on these topics below. The ultimate goal is for the Firm to reduce its regulatory and Read More…